Monthly Archives: July 2013

Compliance Testing – What to Test?

Posted on July 23, 2013 by cindihill

Specific tests to consider as part of your plan: 1.  Compare IPS targets to current client allocations – are they in line? 2.  Review client holdings – are they consistent with any client trading restrictions/objectives? 3.  Were block trades allocated … Continue reading →

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Compliance Testing – Step 2

Posted on July 16, 2013 by cindihill

So you have made some time to work on Step 1 – Developing a Risk Assessment. It is time to move on to Step 2: Determining Tests to be used. Based on the risk assessment, which test will allow you … Continue reading →

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Compliance Testing-Getting Started

Posted on July 9, 2013 by cindihill

If you haven’t begun testing your compliance program AND documenting the tests, then it is time to begin.  This is on the regulators radar screen.  My plan is to give you some steps to work toward this during your “down … Continue reading →

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